DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Departures from Semmax Financial Advisors, Inc.
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Penny Lee Di Giovanna | Semmax Financial Advisors, Inc. independent RIA | J. W. Cole Advisors, Inc. independent RIA | RIA to RIA | Jun 13, 2022 | Jun 23, 2022 |
| Eric David Mattinson | Semmax Financial Advisors, Inc. independent RIA | Twin City Private Wealth, LLC no RAUM | RIA to a newly registered adviser | Sep 17, 2021 | Aug 20, 2021 |
| Travis Vernon Lethco | Semmax Financial Advisors, Inc. independent RIA | Twin City Private Wealth, LLC no RAUM | RIA to a newly registered adviser | Sep 17, 2021 | Oct 11, 2021 |
| Joseph King Berry | Semmax Financial Advisors, Inc. independent RIA | Twin City Private Wealth, LLC no RAUM | RIA to a newly registered adviser | Sep 17, 2021 | Aug 20, 2021 |
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4 moves match.